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8 Feb 2022, 11:42 am
According to his FINRA broker profile, German Nino (also known as German Nio) was affiliated with the following firms, during his career in the securities industry, among others: 07/02/2012 – 08/12/2020, UBS FINANCIAL SERVICES INC. [read post]
2 May 2012, 2:54 pm
• The settlement covers home mortgages serviced by Bank of America, JPMorgan Chase & Co., Citigroup Inc., Ally Financial lnc. [read post]
20 Mar 2016, 7:25 am
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Ameriprise Financial Services, Inc. [read post]
4 Jun 2024, 5:50 am
The Federal Anti-Kickback Statute strictly prohibits offering or paying anything of value to influence referrals of items or services covered by Medicare and other federally funded programs. [read post]
29 Jan 2016, 10:00 pm
Cuomo announced three appointments to the New York State Department of Financial Services [DFS]. [read post]
3 May 2021, 9:05 pm
In addition to providing broker-dealer services, Coinbase also acts as an exchange. [read post]
1 Jul 2009, 6:45 am
The SEC states that PCS is a registered broker-dealer that is a wholly-owned subsidiary of Gilman Ciocia, Inc. [read post]
19 Mar 2010, 12:16 pm
The FTC has recently settled several cases relevant to consumer protection and financial stability. [read post]
4 Mar 2011, 11:11 am
AT&T, Inc., may significantly limit a corporation's right to assert privacy protections relating to its affairs. [read post]
6 Dec 2019, 12:39 am
UBS Financial Services Inc., Respondent (FINRA Arbitration Decision)Federal Court Does Not Condone E*Trade's Onboarding Sloppiness But Keeps Injunction Against Former Rep in Place. [read post]
28 Sep 2021, 7:45 am
The CCFPL makes it unlawful for a covered person to engage in any unlawful, unfair, deceptive, or abusive act or practice with respect to consumer financial services or products or to offer or provide a consumer financial product or service not it conformity with any consumer financial law. [read post]
12 Mar 2009, 9:00 am
Best Co. has commented that all financial strength ratings and issuer credit ratings are unchanged for American International Group, Inc. [read post]
16 Apr 2012, 10:17 am
The settlement with the nation’s five largest mortgage servicers — Bank of America Corporation, JPMorgan Chase & Co., Wells Fargo & Company, Citigroup Inc., and Ally Financial Inc. [read post]
16 Jun 2023, 11:00 am
Read More Anti-Kickback Statute False Claims Act Healthcare Fraud Medically Unnecessary Services I Think I Have a Whistleblower Case Contact Us Confidentially Read Catch of the Week: Smart Pharmacy, Inc. at constantinecannon.com [read post]
18 Oct 2012, 9:42 am
These “prescreened” lists of consumers were sold to Direct Lending Source, Inc., which in turn sold some of these same lists to companies who used the information to sell debt relief services and loan modification plans to consumers. [read post]
12 Dec 2020, 7:45 am
Magill was a dually registered and licensed financial advisor with Foreside Fund Services and as a Registered Investment Adviser with WBI Investments, Inc. out of Boca Raton, Florida. [read post]
9 May 2011, 10:49 am
It was created by the Dodd-Frank financial services reform legislation approved by Congress last year. [read post]
18 Sep 2020, 1:10 am
Facebook’s challenge to the orders for service outside of the jurisdiction: ‘no prima facie case’ Facebook Inc contended that service should be set aside because the Court should not be satisfied that there was a prima facie case for the relief claimed by the Commissioner as required by r 10.43(4)(c) of the Federal Court Rules 2011 (Cth). [read post]
19 Mar 2015, 3:58 pm
The law is a broad response to the financial crisis of 2008, and it includes numerous changes to federal financial regulations. [read post]
15 Jun 2013, 11:11 am
The lawsuit, filed in a Florida federal court, targets American Debt Settlement Solutions, Inc. [read post]
